RGP Wealth Management has a policy on the fair handling of complaints and disputes. This policy applies to the representatives who are affiliated with the firm as defined by regulation.
Who is responsible for handling a properly submitted complaint?
The Chief Compliance Officer of RGP Wealth Management is responsible for the application of the Complaint and Dispute Handling Policy and acts as a respondent to the Autorité des marchés financiers.
What is a complaint or dispute?
For the purposes of the policy, a complaint is the expression of at least one of the following three elements:
A complaint is not an informal attempt to have a particular problem corrected, as long as the problem is dealt with in the course of regular business and without a complaint from the consumer.
RGP Wealth Management will generally request that a client's complaint be submitted in writing by mail or email.
Where do I send my complaint?
We encourage clients to submit their complaints in writing or by email whenever possible. If you have difficulty putting your complaint in writing, please let us know so that we can assist you. For reasons of confidentiality, we will only deal with the customer concerned or with a person expressly authorized in writing by the customer to deal with us on his or her behalf.
Consumers who wish to make a complaint about the mutual fund or exempt market disciplines should do so in writing to the following address
RGP Wealth Management.
1305 Lebourgneuf Blvd. Lebourgneuf, Suite 550 Quebec City, Quebec G2K 2E4
Or by email to firstname.lastname@example.org
Maintenance of complaint files
Upon receipt of a complaint, a file will be created and entrusted to the person in charge so that he/she can take charge of it and administer it.
What happens when a complaint is received by RGP Wealth Management?
An acknowledgment of receipt will be sent to the complainant within 5 business days of receiving a complaint, along with a notice to the complainant and a copy of our Complaint and Dispute Handling Policy.
A thorough analysis of the file will be done by the person responsible for handling complaints.
Once the analysis is complete, a written response, with reasons, will be sent to the complainant no later than 90 days following the date of receipt of the complaint. Our response may take the form of an offer of settlement, a rejection of the complaint explaining our reasons, or any other response deemed appropriate.